{ "crd_number": 140497, "slug": "pendex-advisors-llc-140497", "primary_business_name": "PENDEX ADVISORS, LLC", "legal_name": "PENDEX ADVISORS, LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2006-06-13", "years_registered": 20, "period": "2026-10-01", "filing_date": "2026-01-13", "carried_forward": false, "raum_total": 3930905.0, "raum_discretionary": 3930905.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 0, "advisory_employees": 0, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 0.0, "count": 0 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 3930905.0, "count": 18 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 0.0, "count": 0 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "commissions" ], "advisory_activities": [ "market_timing", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "LA" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/140497", "listing_state": "LA", "city_as_filed": null, "url": "https://advisorcensus.com/firm/pendex-advisors-llc-140497", "display_name": "Pendex Advisors, LLC", "summary": "Pendex Advisors, LLC is a state-registered investment advisory firm, registered since 2006, reporting under $25 million in regulatory assets under management in its Form ADV filing dated January 13, 2026.", "citation": "AdvisorCensus. Pendex Advisors, LLC (CRD 140497): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "Commissions" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Market timing services" ], "quick_answers": [ { "q": "How is Pendex Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Pendex Advisors, LLC reports these compensation arrangements: commissions." }, { "q": "Is Pendex Advisors, LLC registered with the SEC or a state?", "a": "Pendex Advisors, LLC is a state-registered investment advisory firm, registered since 2006. Status as filed: APPROVED. CRD 140497." }, { "q": "How much does Pendex Advisors, LLC manage?", "a": "Pendex Advisors, LLC reports $3,930,905 in regulatory assets under management in its Form ADV filing dated January 13, 2026 (100% discretionary)." }, { "q": "What types of clients does Pendex Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (18)." }, { "q": "Does Pendex Advisors, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/140497" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/pendex-advisors-llc-140497.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 18, "fewer_than_5": false, "raum": 3930905.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/140497", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }